Securities Law Enforcement

This seminar will deal with the enforcement activities of the SEC and the various self-regulatory organizations (NASDR and NYSE) (the ASROs) in enforcing compliance with the federal securities laws and, in the case of the SROs, also their own disciplinary rules. While the scope of the seminar will encompass an overview of the regulatory and self-regulatory scheme in the securities industry and, where relevant, with respect to the issuance and trading of securities in the financial markets, it will primarily be a litigation-oriented seminar focusing on counseling and defending those subject to enforcement investigations and proceedings. Each student will prepare a paper on a significant relevant issue and make a presentation to the seminar group.

Credits: 2

Type: SEM

Does this course satisfy the skills requirement? No

Is this course open to LL.M. students? Yes

Do the credits of this course count toward the specialized program credits that students need for the Banking, Corporate & Finance Law LL.M. Program? Yes